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Kathryn Victoria Replogle

National Financial Services LLC

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About Kathryn Victoria Replogle

Kathryn Victoria Replogle is a financial professional with over 10 years of experience in the industry. Kathryn is currently registered with National Financial Services LLC and holds the Series 7, Series 99TO and SIE licenses. Kathryn previously worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED in Dallas, Texas.

Firm Information

Kathryn Replogle is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Kathryn Replogle’s Registration & Firm History

TX

04/07/2015 - Present

National Financial Services LLC (WESTLAKE TX)

TX

02/18/2013 - 01/13/2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)

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Licenses & Designations

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/16/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 6 public disclosures for Kathryn Victoria Replogle. Review regulatory record here.
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